Advisers on the Move

Never miss a move. The industry's only comprehensive database of financial advisers and brokers changing firms. View over a decade of recruiting activity at wirehouses, regional brokerages, RIAs and independent broker-dealers.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Ann Esther SchuelerLPL Financial LLCAmeriprise Financial Services, Inc.$4701-02-2009
Jerry Lee Greene Jr.Arete Wealth Management, LLCPrivate Consulting Group, Inc.$50001-02-2009
Jonathan Robert FratesiArete Wealth Management, LLCPrivate Consulting Group, Inc.$15001-02-2009
Lee William MontgomeryUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15001-02-2009
Rosemary Reichmann GilliamUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-02-2009
Scott Eric LakeSecurities Service Network, LLCSagePoint Financial, Inc.$10001-02-2009
Parker James SmithWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$1,00001-05-2009
Brenda Branyan VandersliceUBS Financial Services Inc.Citigroup Global Markets Inc.$15001-09-2009
Stanton John JacobsUBS Financial Services Inc.Morgan Stanley & Co. LLC$21301-09-2009
Gary Lee CollierRaymond James Financial Services, Inc.Stifel, Nicolaus & Company, Incorporated$2501-12-2009
James Dennis CovingtonMML Investors Services, LLCCambridge Way, Inc.$2501-12-2009
Guy W Wages Jr.UBS Financial Services Inc.Morgan Stanley & Co. LLC$101-13-2009
Russell J WilsonUBS Financial Services Inc.Morgan Stanley & Co. LLC$10001-13-2009
John David ThomasUBS Financial Services Inc.Citigroup Global Markets Inc.$5001-15-2009
Joseph John RomanchikUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$101-16-2009
Tammy B PaxtonMML Investors Services, LLCThoroughbred Financial Services, LLC01-16-2009
Jonathan Todd WilliamsMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC$5001-20-2009
David Mason WilliamsAdvantage Investment Management, LLCWealth Strategies Advisory Group, Inc.01-21-2009
Jeffrey Lee FrancisRaymond James Financial Services, Inc.FTB Advisors, Inc.01-21-2009
Jill Elizabeth SuttonRaymond James Financial Services, Inc.FTB Advisors, Inc.01-21-2009
James Barton Brannon IIILPL Financial LLCMML Investors Services, LLC$2501-23-2009
Derek Christopher BlandLBMC Investment Advisors, LLCStrategic Wealth Management Group, LLC01-27-2009
Harold D JoinesWells Fargo Clearing Services, LLCMorgan Stanley & Co. LLC$5001-30-2009
Jerry John FaerberWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$1,00001-30-2009
Locke Y Carter Jr.Wells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$1,00001-30-2009
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Showing 1 to 25 of 1,880 entries

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Disclaimer & Methodology: The InvestmentNews Advisers on the Move database is designed to capture all recruiting activity of retail financial advisers/teams of advisers as they move from one firm to another. The activity recorded within the database comes from a number of sources, including InvestmentNews and other media reports; press releases; direct submissions that have been reviewed by InvestmentNews; and regulatory filings. To qualify as a move, no more than 60 days can have elapsed between the date an adviser/team leaves one firm and the date they join another. Any adviser registration changes that came as a result of merger & acquisition activity are not recorded as moves in the database. Finally, please note that all AUM data is user-submitted and is not audited by InvestmentNews or any regulatory agency. When AUM data is unavailable, a “ — “ is listed in the record’s AUM field entry.

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